Proposed Amendments to the Securities Act of 1933 and to the Securities Exchange Act of 1934, Volume 5U.S. Government Printing Office, 1942 - Securities |
From inside the book
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Page 1300
... buying and selling is restricted . The 1939 sales were also less than in 1919 and in 1924 , even though listings now ... buying by insiders was restricted , and in 1929 there was tremendous buying by insiders , who attempted to stabilize ...
... buying and selling is restricted . The 1939 sales were also less than in 1919 and in 1924 , even though listings now ... buying by insiders was restricted , and in 1929 there was tremendous buying by insiders , who attempted to stabilize ...
Page 1301
... buying and selling , and under which floor traders and specialists , the former shock absorbers of the decline , were rendered powerless through in- numerable regulations and through " daylight " margins , higher than required of the ...
... buying and selling , and under which floor traders and specialists , the former shock absorbers of the decline , were rendered powerless through in- numerable regulations and through " daylight " margins , higher than required of the ...
Page 1303
... buyers feel poor . They stop buying and thus can initiate a decline in business which often feeds upon itself . The discharge of workers and loss of national income thus is part of the price we pay for the doubtful benefits of a thin ...
... buyers feel poor . They stop buying and thus can initiate a decline in business which often feeds upon itself . The discharge of workers and loss of national income thus is part of the price we pay for the doubtful benefits of a thin ...
Page 1309
... buyers of securities , rather than on the taxpayers . If anybody could show a system other than private enterprise ... buying or selling on inside information and against the interest of the stockholders on the sound principle that no ...
... buyers of securities , rather than on the taxpayers . If anybody could show a system other than private enterprise ... buying or selling on inside information and against the interest of the stockholders on the sound principle that no ...
Page 1310
... points to 116. Prompt publication of insiders ' sales would have obviated the enthusiastic buying at the top and the dejected selling at the bottom by the little fellow , 1310 AMENDMENTS TO THE SECURITIES AND EXCHANGE ACT.
... points to 116. Prompt publication of insiders ' sales would have obviated the enthusiastic buying at the top and the dejected selling at the bottom by the little fellow , 1310 AMENDMENTS TO THE SECURITIES AND EXCHANGE ACT.
Common terms and phrases
A. P. Giannini administrative America California America N. T. America National Trust application Bank of America BOREN buying CHAIRMAN Chicago Stock Exchange Commission's committee common stock Congress court dealers December directors effect Exchange Commission exemption fact Federal filed Francisco Stock Exchange Gas & Electric Holding Company Act industry investors issuer issues January January 12 listed Louisville Gas matter McGRANERY ment November 22 offering officers opinion Order for Hearing over-the-counter percent person present president proceeding proposed amendments prospectus provisions Public Utility Holding Purcell purchase purpose reasonable record regional exchanges registration statement representatives requirements rules and regulations San Francisco Stock Savings Association section 16 Securities Act Securities and Exchange Securities Exchange Act selling shares SMITH sold speculation staff statute stockholders subsidiaries Timetrust tion trading transactions Transamerica Corporation TWOMBLY underwriter Utility Holding Company Wadsworth York Curb Exchange York Stock Exchange YOUNGDAHL
Popular passages
Page 1405 - Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper. The Commission may modify its findings as to the facts, or make new findings, by reason of the additional evidence so taken...
Page 1510 - ... under common control with, the person specified. (b) Control. The term "control" (including the terms "controlling", "controlled by" and "under common control with") means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a person, whether through the ownership of voting securities, by contract...
Page 1543 - Commission shall have reason to believe that any such person, partnership, or corporation has been or is using any unfair method of competition or unfair or deceptive act or practice in commerce, and if it shall appear to the Commission that a proceeding by it in respect thereof would be to the interest of the public...
Page 1445 - ... of the value of securities and thus prevent a fair calculation of taxes owing to the United States and to the several States by owners, buyers, and sellers of securities, and (c) prevent the fair valuation of collateral for bank loans and/or obstruct the effective operation of the national banking system and Federal Reserve System. (4) National emergencies, which produce widespread unemployment and the dislocation of trade, transportation, and industry, and which burden interstate commerce and...
Page 1406 - Any person who (1) offers or sells a security in violation of section 5, or (2) offers or sells a security (whether or not exempted by the provisions of section 3, other than paragraph (2) of subsection (a) thereof), by the use of any means or instruments of transportation or communication in interstate commerce or of the mails...
Page 1406 - ... by means of a prospectus or oral communication, which includes an untrue statement of a material fact or omits to state a material fact necessary in order to make the statements, in the light of the circumstances under which they were made, not misleading (the purchaser not knowing of such untruth or omission...
Page 1399 - Commission is responsible for the administration and enforcement of the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
Page 1411 - A security registered with a national securities exchange may be withdrawn or stricken from listing and registration in accordance with the rules of the exchange and, upon such terms as the Commission may deem necessary to impose for the protection of investors...
Page 1408 - ... Securities Exchange Act of 1934." NECESSITY FOR REGULATION AS PROVIDED IN THIS TITLE SEC. 2. For the reasons hereinafter enumerated, transactions in securities as commonly conducted upon securities exchanges and over-the-counter markets are affected with a national public interest which makes it necessary to provide for regulation and control of such transactions and of practices and matters related thereto...
Page 1508 - For the purpose of any such investigation, or any other proceeding under this title, any member of the Commission or any officer designated by it is empowered to administer oaths and affirmations, subpena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, or other records which the Commission deems relevant or material to the inquiry.